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Stock Market & Financial Investment News

News Breaks
July 29, 2014
06:11 EDTUBSUBS says 'responding to inquiries' on dark pools
UBS says it is responding to inquiries concerning the operation of UBSís alternative trading system and its securities order routing and execution practices from various authorities, including the SEC, the New York Attorney General and Finra, who reportedly are pursuing similar investigations industry-wide. These inquiries include an SEC investigation that began in early 2012 concerning features of UBSís ATS, including certain order types and disclosure practices that were discontinued two years ago. UBS is co-operating in these matters. In addition, UBS is among dozens of defendants, including broker dealers, trading exchanges, high-frequency trading firms, and dark pool sponsors, named in putative class actions pending in New York federal court, which have been filed on behalf of purchasers and sellers of equity securities. The lawsuits allege principally that the defendantsí equities order handling practices favored high-frequency trading firms at the expense of other market participants, in violation of the federal securities laws.
News For UBS From The Last 14 Days
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November 19, 2014
07:34 EDTUBSNYSSA to hold a forum
Fall 2014 ETP Trading & Investing Forum is being held in New York on November 19.
November 18, 2014
06:34 EDTUBSDraghi sees positive signs in euro zone, NY Times reports
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November 13, 2014
07:18 EDTUBSUBS to hold a conference
Building & Building Products Annual CEO Conference is being held in New York on November 13 with webcasted company presentations to begin at 9:30 am; not all company presentations may be webcasted. Webcast Link

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